FINRA Awards for Shannon L. McDougald

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 11-20 out of 22 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-02752	06/03/2014	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Respondent Lawyers(s): Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
12-00506	03/11/2014	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Jessica McConnell, Todd Carbone Respondent Lawyers(s): Shannon L. McDougald Arbitrator(s): Robert D. Sussin, Robert A. Lombardi, Bryan L. Herrmann Hearing Site: Los Angeles, CA
13-01836	03/03/2014	Claimant(s): Damon Mapes, Renita Lee-Hausladen Claimant Lawyers(s): B. Scott Whipple Respondent(s): Cetera Investment Services LLC Respondent Lawyers(s): Shannon L. McDougald Arbitrator(s): O. Meredith Wilson, Joseph W. Cheek, Trent Thomas Whitford Hearing Site: Portland, OR
12-02471	11/06/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Anthony Carter Respondent Lawyers(s): Anthony E. Carter Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA
12-03111	01/31/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Eric Lenze Respondent Lawyers(s): Eric T. Lenze Arbitrator(s): Thomas R. Dreiling Hearing Site: Seattle, WA
12-00111	01/29/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Respondent Lawyers(s): Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
12-02809	01/18/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Respondent Lawyers(s): Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA
12-00658	12/26/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Steven Sanders Respondent Lawyers(s): J. Ryan Kirchoff Arbitrator(s): James F. Zotter Hearing Site: Portland, OR
10-03113	06/08/2012	Claimant(s): Oliver Schwarz Claimant Lawyers(s): Thomas C. Frost Respondent(s): Citigroup Global Markets., Morgan Stanley, Citigroup Global Markets Holdings. Respondent Lawyers(s): Scott L. Metzger, Shannon L. McDougald Arbitrator(s): Barry E. Kersh, Janice L. Sperow, Sally G. Williams Hearing Site: San Diego, CA
12-00102	06/08/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Frank Guzman Respondent Lawyers(s): Frank Jesus Guzman Arbitrator(s): Mandel E. Himelstein Hearing Site: San Diego, CA